HSBC Group

Role Purpose:

Work for Post Execution Processing of securities business for both Tokyo booking and non Tokyo booking

Trade Capturer, Validate and Enrich Trades

Manage trade confirmation related task such as pre confirmation and legal confirmation

Monitor trade confirm matching status

Perform reconciliation task for front to back system

Work for event monitoring

Communicate with client and Sales as the client service window

Manage and mitigate the operational risk associated with trade capturing and booking

Implement and monitor the booking and settlement status to meet Japan Client service – zero tolerance of error

Actively engage in New Product Due Diligence and liaise with stakeholders, IT, Finance, Legal, Compliance, Product Control, etc. to streamline workflow process

Oversight of Offshore governance

Principal Accountabilities:

•               Mitigate day-to-day operational risk for Japan Markets Operations.

• Enhance and assist with the development of confirmation matching procedures and processes required to provide clients with a smooth and efficient operational experience.
• Work closely with CCO to implement our daily control
• Observe and maintain internal control standards associated with HSBC policies / FIM standards across Legal, Compliance, Credit, Operations, and other key stakeholder groups.
• Monitor daily processing by GSC teams and work closely to fill any gaps on risk control process
• Be a team player. Work well within team environment across business units and locations
• Effectively manage operational risk associated with role
• Focusing on mitigating regulatory and operational risk
• Highlight operational inefficiencies and look at ways to close loopholes and improves procedures.
• Due to the continued cost saving and requirement more robust control, this individual will need to review the current process for mitigating operational and settlement risk and identify the opportunities to implement improvements.
• Manage internal inefficiencies and build strong internal network to ensure seamless processes.
• Manage auditor inquiries effectively and work closely with other teams to ensure timely submission.
• Work with CCO closely to ensure our KRI daily reports capture daily risks and work on process enhancement to mitigate and risk involved
• Work as the key member of New Product Due Diligence exercise,
• Ensure booking and confirmation process meet control standards and efficiency Ensure all our requirement is in place and deliver UAT in a most efficient manner
• Aware of the operational risk scenario associated with the role and acts in a manner that takes account of operational risk considerations.
• Observe and maintain internal control standards associated with HSBC policies / FIM requirements, across Legal, Compliance, Credit, Operations and other key stakeholder groups.
• Maintains HSBC internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators.
• Understands, follows and demonstrates compliance with all relevant internal and external rules, regulations and procedures that apply to the conduct of the business in which the jobholder is involved, specifically Internal Controls and any Compliance policy including, inter alia, the Group Compliance policy

• Japanese language skill is essential
• +5 years within an investment banking organization
• Knowledge of securities products is essential.
• Experience working as Middle Office (or back office) of securities firm
• Experience working under the environment where seek for the mind-set of change.
• Proven experience in change/project management in a growing / evolving business
• Successful at working with management and senior stakeholders at different levels